Neuberger Berman Loan Advisers Llc
- Regulatory AUM
- $4.9B
- Discretionary
- $4.9B
- Clients
- 13
- Avg AUM / client
- $379M
- Accounts
- 13
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | — | — |
| High net worth individuals | Fewer than 5 clients | — | — |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pooled investment vehicles (non-investment companies) | 13 | $4.9B | 100.0% |
| Pension and profit sharing plans | Fewer than 5 clients | — | — |
| Charitable organizations | Fewer than 5 clients | — | — |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | Fewer than 5 clients | — | — |
Private funds (13)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $6.4B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Neuberger Berman Loan Advisers Clo 32, Ltd. | Securitized Asset Fund | Cayman Islands | $579M | 0 |
| Neuberger Berman Loan Advisers Clo 33, Ltd. | Securitized Asset Fund | Cayman Islands | $579M | 0 |
| Neuberger Berman Loan Advisers Clo 26, Ltd. | Securitized Asset Fund | Cayman Islands | $514M | 0 |
| Neuberger Berman Loan Advisers Clo 30, Ltd. | Securitized Asset Fund | Cayman Islands | $491M | 0 |
| Neuberger Berman Loan Advisers Clo 36, Ltd. | Securitized Asset Fund | Cayman Islands | $486M | 0 |
| Neuberger Berman Loan Advisers Clo 34, Ltd. | Securitized Asset Fund | Cayman Islands | $482M | 0 |
| Neuberger Berman Loan Advisers Clo 31, Ltd. | Securitized Asset Fund | Cayman Islands | $481M | 0 |
| Neuberger Berman Loan Advisers Clo 35, Ltd. | Securitized Asset Fund | Cayman Islands | $481M | 0 |
| Neuberger Berman Loan Advisers Clo 29, Ltd. | Securitized Asset Fund | Cayman Islands | $479M | 0 |
| Neuberger Berman Loan Advisers Clo 28, Ltd. | Securitized Asset Fund | Cayman Islands | $471M | 0 |
| Neuberger Berman Loan Advisers Clo 25, Ltd. | Securitized Asset Fund | Cayman Islands | $467M | 0 |
| Neuberger Berman Loan Advisers Clo 24, Ltd. | Securitized Asset Fund | Cayman Islands | $446M | 0 |
| Neuberger Berman Loan Advisers Clo 27, Ltd. | Securitized Asset Fund | Cayman Islands | $442M | 0 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Abb Inc. Pension Plan Of Fischer & Porter Company Abb Inc. | 2024 |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian Lord | Chief Compliance Officer, Assistant Secretary And Senior Vice President | Sep 2016 (10y) | Less than 5% | |
| Stephen Gregory Wright | Director And Managing Director | Jan 2019 (8y) | Less than 5% | |
| De Regt, Kenneth, M | Director And Managing Director | Sep 2021 (5y) | Less than 5% | |
| Anne Faris Brennan | Director And Managing Director | CFA | Jun 2024 (2y) | Less than 5% |
| Ashok Kumar Bhatia | Director, Managing Director And Chief Executive Officer | CFA | Jun 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Neuberger Berman Loan Advisers Holdings Lp | Member | Jan 2017 | A | 75% or more |
| Neuberger Berman Investment Advisers Holdings Llc | Member | May 2009 | B | 75% or more of Neuberger Berman Investment Advisers Llc (indirect) |
| Neuberger Berman Group Llc | Member | Feb 2009 | B | 75% or more of Neuberger Berman Investment Advisers Holdings Llc (indirect) |
| Nbsh Acquisition, Llc | Member | May 2009 | B | 75% or more of Neuberger Berman Group Llc (indirect) |
| New York State Common Retirement Fund | Limited Partner | Jul 2017 | B | ≈ 14.06% – 50% via Neuberger Berman Loan Advisers Holdings (Delaware) Lp |
| Neuberger Berman Loan Advisers Holdings (Delaware) Lp | Limited Partner | Jan 2017 | B | ≈ 18.75% – 50% via Neuberger Berman Loan Advisers Holdings Lp |
| Neuberger Berman Loan Advisers Holdings (Cayman) Lp | Limited Partner | Jan 2017 | B | ≈ 18.75% – 50% via Neuberger Berman Loan Advisers Holdings Lp |
| The Ohio State University | Limited Partner | Mar 2017 | B | ≈ 4.69% – 25% via Neuberger Berman Loan Advisers Holdings (Cayman) Lp |
| Lockheed Martin Corporation Master Retirement Trust | Limited Partner | Mar 2017 | B | ≈ 4.69% – 25% via Neuberger Berman Loan Advisers Holdings (Cayman) Lp |
| Neuberger Berman Investment Advisers Llc | Limited Partner, Member | Jan 2017 | B | GP / trustee / elected manager of Neuberger Berman Loan Advisers Holdings Lp, Neuberger Berman Loan Advisers Holdings Gp Llc (indirect) |
| Neuberger Berman Loan Advisers Holdings Gp Llc | General Partner | Sep 2016 | B | GP / trustee / elected manager of Neuberger Berman Loan Advisers Holdings Lp, Nbla Holdings (Delaware) Lp, Nbla Holdings (Cayman) Lp (indirect) |
| The Northern Trust Company | Trustee | Jun 2023 | B | GP / trustee / elected manager of Lockheed Martin Corporation Master Retirement Trust (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- New York State Common Retirement Fund: 75% – 100% of Neuberger Berman Loan Advisers Holdings (Delaware) Lp × 25% – 50% of Neuberger Berman Loan Advisers Holdings Lp × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Neuberger Berman Loan Advisers Holdings (Delaware) Lp: 25% – 50% of Neuberger Berman Loan Advisers Holdings Lp × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Neuberger Berman Loan Advisers Holdings (Cayman) Lp: 25% – 50% of Neuberger Berman Loan Advisers Holdings Lp × 75% – 100% direct ≈ 18.75% – 50% of the firm
- The Ohio State University: 25% – 50% of Neuberger Berman Loan Advisers Holdings (Cayman) Lp × 25% – 50% of Neuberger Berman Loan Advisers Holdings Lp × 75% – 100% direct ≈ 4.69% – 25% of the firm
- Lockheed Martin Corporation Master Retirement Trust: 25% – 50% of Neuberger Berman Loan Advisers Holdings (Cayman) Lp × 25% – 50% of Neuberger Berman Loan Advisers Holdings Lp × 75% – 100% direct ≈ 4.69% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (13, $6.4B gross assets)
From Form ADV Section 7.B private fund reporting.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Abb Inc. Pension Plan Of Fischer & Porter Company | Abb Inc. | 7 | $31.6M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN ONE GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. Status: On Appeal Sanction Detail: AS NOTED IN 9 ABOVE, THIS MATTER HAS BEEN APPEALED TO THE BAFIN. Summary: NBSH FILED AN APPEAL TO THE BAFIN ON AUGUST 29, 2024 STATING THAT A SINGLE LATE SHAREHOLDER NOTIFICATION REPORTING A SMALL REDUCTION IN POSITION SIZE WAS DUE TO A CLERICAL ERROR AND THAT THE FIRM HAS SINCE ENHANCED ITS SYSTEMS TO PREVENT FUTURE OCCURRENCES. THE APPEAL REMAINS PENDING.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗